date on which the claimant files the complaint, unless the claimant agrees to extend such period; or 3. the claimant is not satisfied with the compliant resolution. Clause 7. In filing the dispute to the
from the date on which the claimant files the complaint, unless the claimant agrees to extend such period; or 3. the claimant is not satisfied with the compliant resolution. Clause 7. In filing the
relations officers/center or compliant center etc. 15.2 The company establishes whistle-blower hotline in order that external stakeholders could safely inform information or traces of frauds or corruptions to
system relating to trading services with respect to derivatives; (2) an event which cause a computer system relating to trading services with respect to derivatives to become non-compliant to any law
grounds that had caused the applicant’s qualifications to be non-compliant with Clause 21(2) are insignificant or a rectification or preventive measures has been adopted, the SEC Office may disregard these
settlement services with respect to derivatives; (2) an event which causes a computer system relating to clearing and settlement services with respect to derivatives to become non-compliant to any law, rules
shall be compliant with the following regulations: (1) an application for approval and an approval of the offer for sale of units of foreign collective investment scheme, and the conditions after approval
operating system which is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed
is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed in compliance